Research Disclosures (IIROC Policy 11)
Dissemination of Research
Tristone will make its research reports widely available through its website or by other means for all its clients whom Tristone has determined are entitled to receive such research reports at the same time.
Requests for access to our research should be directed to Jamie Wiemer via email at jwiemer@tristonecapital.com. Senior management to ensure compliance with regulatory requirements will approve all requests, for access to research.
Research Disclosures
All required regulatory disclosures are included in each research publication under the disclosures section of the report. If you require more information or archived information please contact the Tristone Compliance Department, Hinson Ng via email at hng@tristonecapital.com.
Tristone Research Recommendations
The following is the Tristone Rating System, which includes the percentage of recommendations, that fall into each category.
| Rating | Expected Returns Versus Peer Group or Sector | % of Tristone Universe |
| Top Pick | The highest risk-adjusted return. | 11% |
| Outperform | Greater than the average of their peer group or sector. | 56% |
| Market Perform | On par with the average of their peer group or sector. | 28% |
| Underperform | Below the average of their peer group or sector. | 3% |
| Speculative | Companies that carry high operational and/or financial risk where a change in a limited number of business variables can significantly change the valuation. | 2% |
(Updated quarterly, June 2nd, 2008 update)
Our Privacy Policy
Tristone Capital Website Privacy Policy
Tristone Capital is committed to respecting the privacy of the personal information of the individuals with whom we interact. We have developed this Website Privacy Policy to describe our privacy policies and practices and how we collect, use and disclose the personal information of those individuals who visit our website. We have developed other documents that describe our privacy policies and practices with respect to our employees and with respect to our customers, suppliers and other parties with whom we interact. Our External Privacy Policy is available at www.tristonecapital.com.
Tristone Capital is part of a family of affiliated companies (the "Tristone Group"), including Tristone Capital (USA) Inc., Tristone Capital Co., and Tristone Capital Inc. This Privacy Policy applies to and governs the activities of Tristone Capital (USA) Inc., Tristone Capital Co., and Tristone Capital Inc. All references in this Privacy Policy to "Tristone Capital", "we", "us", "our" and like terms should be interpreted accordingly.
What is Personal Information?
For the purposes of this Privacy Policy, Personal information is any information about an identifiable individual other than business contact information when used or disclosed for the purpose of business communications.
What Personal Information Do We Collect?
You can visit our website without telling us who you are or revealing any information about yourself, including your e-mail address. Our web server may collect information related to your visit to our website, including the IP address and domain used to access our website, the type and version of your browser, the website you came from to access our website, the page you entered and exited at, any website page that is viewed by that IP address and what country you are from. We use this information to monitor our website's performance (such as number of visits, average time spent, page views) and for our business purposes such as working to continually upgrade our website.
In addition, we collect the personal information that you submit to our website, such as your name, address and any other contact or other information that you choose to provide by corresponding with a representative of Tristone Capital via e-mail using the hyperlinks created for that purpose.
Where you request information from us, we may use the e-mail address that you provide to send you information about offers on products and services that we believe may be of interest to you
What about Links to other Websites?
Our website may contain links to other websites that may be subject to less stringent privacy standards. We cannot assume any responsibility for the privacy practices, policies or actions of the third parties that operate these websites. Tristone Capital is not responsible for how such third parties collect, use or disclose your personal information. You should review the privacy policies of these websites before providing them with personal information.
Why Do We Collect, Use, and Disclose Personal Information?
The personal information collected is used and disclosed for our business purposes, including for those purposes explained in this policy and in our External Privacy Policy (available at www.tristonecapital.com).
Your personal information is shared with our employees, contractors, consultants, affiliates and other parties who require such information to assist us with establishing, maintaining and managing our relationship with you. In addition, personal information may be disclosed or transferred to another party in the event of a change in ownership of, or a grant of a security interest in, all or a part of Tristone Capital.
We may collect, use or disclose your personal information without your knowledge or consent where we are permitted or required by applicable law or regulatory requirements to do so.
Your Consent is Important to Us
By using our website, we assume that you have consented to the collection, use and disclosure of your personal information as explained in this Privacy Policy.
You may change or withdraw your consent at any time, subject to legal or contractual restrictions and reasonable notice, by contacting the office of our Privacy Officer using the contact information set out below. All communications with respect to such withdrawal or variation of consent should be in writing and addressed to our Privacy Officer.
How is Your Personal Information Protected?
Tristone Capital endeavors to maintain physical, technical and procedural safeguards that are appropriate to the sensitivity of the personal information in question. These safeguards are designed to prevent your personal information from loss and unauthorized access, copying, use, modification or disclosure.
Unfortunately, no data transmission over the Internet can be guaranteed to be 100% secure. As a result, while this website strives to protect your personal information, we cannot warrant the security of any information you transmit to us, and you do so at your own risk. Once this website receives your transmission, we make commercially reasonable efforts to ensure its security on our systems.
Updating Your Personal Information
It is important that the information contained in our records is both accurate and current. If your personal information happens to change during the course of our relationship, please keep us informed of such changes. In some circumstances we may not agree with your request to change your personal information and will instead append an alternative text to the record in question.
Access to Your Personal Information
You can ask to see the personal information that we hold about you. If you want to review, verify or correct your personal information, please contact the office of our Privacy Officer using the contact information set out below. Please note that any such communication must be in writing. For information on accessing your information, please see our External Privacy Policy at www.tristonecapital.com.
In the event that we cannot provide you with access to your personal information, we will endeavor to inform you of the reasons why, subject to any legal or regulatory restrictions.
Inquiries or Concerns?
If you have any questions or concerns about our Privacy Policies please contact:
Privacy Officer
Site 2020, 335 8th Avenue S.W.
Calgary, AB T2P 1C9
Phone: (403) 294 - 9541
Fax: (403) 539 - 4366
E-Mail: privacy@tristonecapital.com
Interpretation of this Privacy Policy
This Website Privacy Policy includes examples but is not intended to be restricted in its application to such examples, therefore where the word 'including' is used, it shall mean 'including without limitation'. This Website Privacy Policy only applies in respect of those activities that are subject to the provisions of Canada's federal and provincial privacy laws, as applicable.
Important Information about Procedures for Opening a New Account
To help the U.S. government fight the funding of terrorism and money laundering activities, U. S. Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account.
What this means for you: When you open an account, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver's licence or other identifying documents.
Security Statement
Tristone Capital is committed to providing our customers with the highest level of security possible. We have implemented solutions from the leading security vendors on our servers and firewalls.
The personally identifiable information we collect about you is stored in limited access servers. We will maintain stringent security protocols designed to safeguard the security, integrity, and privacy of these servers and of your personally identifiable information.
